New US short selling rules bring challenges for compliance officers: expanded reporting, XML filings, issuer thresholds, and daily position tracking.
The latest SEC disclosure regulations have brought significant changes to beneficial ownership reporting and short sale disclosure rules.
On 10 August 2022, the SEC voted 3-2 to propose amendments to Form PF (‘the Form’).
Dave Polonsky gives a run through of the new, proposed changes to beneficial ownership and short-selling reporting by the SEC.
The Securities and Exchange Commission proposed new Rule 13f-2 to increase market transparency regarding short selling.
An overview of the proposed changes to Section 13G and Section 13D by the SEC, the first of their kind in more than 40 years.
Special Purpose Acquisition Companies (SPACs) are on the rise, but SPAC data providers are not about to provide necessary SPAC reporting under Section 13 of the Securities ...